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SUP 12.3 What responsibility does a firm have for its appointed representatives ?
As Published: 2001
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
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PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
As Published: 2005
PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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REC 2.8 Settlement and clearing services
As Published: 2004
REC 2.8 Settlement and clearing services
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MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
As Published: 2006
MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
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REC 1.2 Purpose, status and statutoryquotations
As Published: 2004
REC 1.2 Purpose, status and statutoryquotations
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
As Published: 2007
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
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DISP 1.4 Time limits for dealing with a complaint
As Published: 2003
DISP 1.4 Time limits for dealing with a complaint
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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GEN 4.4 Business for private customers from non-UK offices
As Published: 2004
GEN 4.4 Business for private customers from non-UK offices
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